RDR and Investments - What’s on the Horizon? I

Questionnaire: CPD Points

Thanks for joining us for the RDR and Investments webinar on the 9th June.

To obtain your CPD points, please complete the following form. Good luck!

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* 1. Personal Details

Full name

ID number

City/town

Email address

Company

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* 2. What adviser categories are being suggested?

PSA and Independent

PSA and RFA

RFA and tied

PSA, RFA and multi-tied

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* 3. Will someone be allowed to be an adviser on more than one FSP license?

Yes, provided they disclose a conflict of interest.

No, not in any circumstances.

Yes, if they are in the same group and both FSPs are either PFA or PSA.

Yes, in the RFA space only.

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* 4. One of the proposals regarding gap filling is:

That any restrictions don’t apply to RFAs.

It will only apply to insurance products.

A PSA can purchase any product provided they do so through a LISP.

Gap filling won’t apply to Unit trust products.

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* 5. What 3 sub activities will be included in the definition of “Discretionary investment management”?

Unit trust management, Hedge fund management, model portfolio management.

Alternative investment management, asset management, multi-management.

Asset management, hedge funds management and model portfolio management.

Asset allocation management, stock selection management, and alternative investment management.

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* 6. What will a mandate for convenience facilitate:

Changing clients details only.

Withdrawals, switches and investments.

Rebalances back to a specified investment mandate.

Rebalances and withdrawals.

Great! Let's hope you were listening.

We will send you your CPD certificate in the next 2 weeks.

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